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CFP
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CFP

Thomas Wolf

Oppenheimer & CO. INC.
17 Years of Experience
Denver, CO
Broker
View SEC Summary
View SEC Summary

Thomas Wolf is a CFP-designated registered investment advisor at Oppenheimer & CO. INC., based in Denver, CO, with 17 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3200 Cherry Creek South Drive, Suite 310, Denver, CO, 80209

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Thomas mentors business students at the University of Colorado-Leeds School of Business. This activity is not investment-related and requires minimal time.

Employment History
Current Registrations
Oppenheimer & CO. INC.Broker
June 2019 - Present · 7 yrs 4 mos
Oppenheimer & CO. INC.
June 2019 - Present · 7 yrs 4 mos
Previous Registrations
Morgan Stanley
February 2013 - July 2019 · 6 yrs 5 mos
Morgan StanleyBroker
February 2013 - July 2019 · 6 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2010 - February 2013 · 2 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2010 - February 2013 · 2 yrs 11 mos
Citigroup Global Markets INC.
June 2009 - April 2010 · 10 mos
Citigroup Global Markets INC.Broker
June 2009 - April 2010 · 10 mos
Wells Fargo Investments, LLC
November 2008 - March 2009 · 4 mos
Wells Fargo Investments, LLCBroker
November 2008 - March 2009 · 4 mos
State Registrations22 states
AZCACODEFLGAILINKSMDNENJNMNYOHORSCTNTXVAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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